Lu Keh Shew's Form 4 filing
Diodes Inc (DIOD) · filed Aug 5, 2021
- Accession no.
- 0001209191-21-049998
- Filed
- Aug 5, 2021
- Trade date
- Aug 3-5, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 3 derivative transactions. Open-market sales total $2.59M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lu Keh ShewCIK 0001196531 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2021 | Diodes Incorporated Common Stock | MOption exerciseAcquired | +5,000 | $27.92 | +$139,600 | 359,138 | Direct | |
| Aug 3, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $84.50 | −$363,350 | 354,838 | Direct | |
| Aug 4, 2021 | Diodes Incorporated Common Stock | MOption exerciseAcquired | +15,000 | $27.92 | +$418,800 | 369,838 | Direct | |
| Aug 4, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $85.00 | −$365,500 | 365,538 | Direct | |
| Aug 4, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $85.50 | −$367,650 | 361,238 | Direct | |
| Aug 4, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $86.00 | −$369,800 | 356,938 | Direct | |
| Aug 5, 2021 | Diodes Incorporated Common Stock | MOption exerciseAcquired | +15,000 | $27.92 | +$418,800 | 371,938 | Direct | |
| Aug 5, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $86.72 | −$372,896 | 367,638 | Direct | |
| Aug 5, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $87.00 | −$374,100 | 363,338 | Direct | |
| Aug 5, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $87.50 | −$376,250 | 359,038 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2021 | Diodes Incorporated Common Stock - Diodes | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 30,000 | Direct | |
| Aug 4, 2021 | Diodes Incorporated Common Stock - Diodes | MOption exerciseDisposed | −15,000 | $0.00 | $0 | 15,000 | Direct | |
| Aug 5, 2021 | Diodes Incorporated Common Stock - Diodes | MOption exerciseDisposed | −15,000 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.